NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Sandra Thaw Claimant(s) vs . Kenneth E. Sidler Respondent(s) NOTICE OF ARBITRATION ANARD 89-01795 CASE SUMMARY Claimant(s) Sandra Thaw alleged that Respondent(s) Kenneth E. Sidler sold securities that were not blue skyed in the state offered. Respondent(s) denies Claimant's allegations. RELIEF REQUESTED Claimant(s) Sandra Thaw requested damages

NATIONAL ASSOCIATION OF SECURITIF-C! r)F.AT.F.RS. INC. In the Matter of the Arbitration Among Shearson Lehman Hutton, Inc. Claimant vs AWARD NASD #89-02170 Dr. Edward C. Haupt Edward Meeuwsen Respondents Heard before: Francis C. Flood Marshall Schugar Donald A. Edwards Public Arbitrator Industry Arbitrator Public Arbitrator CASK SQvlMARY Claimant, Shearson Lehman Hutton, Inc. ("SLH") ^ alleged Dr. Edward C. Haup

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. * In the Matter of the Arbitration Between * David L. Krohn, M.D. Claimant * Case# 89-02169 ! vs. * AWARD * * * Shearson Lehman Hutton, Inc. and * * James Schwarz * + * ^ Respondents * CASE SUMMARY Claimant alleged that Respondents misrepresented a mutual fund investment to him and failed to disclose the lack o f liquidity and heavily "end-loading": of the mutual fund. Additionally, the

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Henry D. Cohen Claimant vs . Gruntal and Company, Inc. Robert L. Chestman Respondents MODIFIED AWARD Case #89-02160 CASE SUMMARY In a claim filed with the National Association of Securities Dealers Inc. on August 3, 1989 Claimant Henry D. Cohen alleged that the Respondent: Gruntal and Company, Inc. and Robert * L. Chestman misrepresented th<

® N.A.S.D. AWARD Arbitration NAITONAL ASSOCIATI(»I OF SECURITIES DEZXLERS In the Matter of the Arbitration Between Rms of '"lairraoL Adrian Hiliimn NationalAtfflciation of Securities Oeilert, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 ]9-02122 Prudential Securities, Inc. Michael Pktter ;< Hvysci5«^jiii'iyMiX» a For Claimant, Adrian Hillman ("Claimant"'): Bruce A. Langer, a sole practitio

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plat'mants Bodacious, Inc. AJ. Gaughf r- Q2-04474 Name nf the Respondents Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc. Richard L. Kendrick, IH Kenneth J. Vilcheck Hearing Site- Charlotte, North Carolina RFPRF.SF.NT ATTON OF PARTTFS Claimants, Bodacious, Inc. ("Bodacious") and AJ. Gaughf ("Gaughf'), hereinafter collectively r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEOJKlTIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant John French 89-02116 Name of Respondents Individual's Securities Ltd., Carl Lanzisera, Dominick & Dominick, Inc., George Doiamanis, Mark Ross Sr., Mark Ross Jr., and George H. Linck Heard before: Deborah Sherman, Esq. Public Arbitrator Dorothy F. Gray, Esq. Public Arbitrator Joseph P. McNulty Industry Arbitrator

\< .,^:.S loo L 111 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. CIaimant vs. Steve R. Ryu Respondent AWARD CASE NO. 89-02112 Heard Before the Members of the Arbitration Panel: SUMMARY OF ISSUES This case was filed on July 26, 1989. Claimant alleged that Respondent was employed by PaineWebber, Inc. and that Respondent signed an Investment Executive Trainee Agreement which provi

9 (01 of I NATIOlUUi ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sutro St Co. Inc. Claimant vs . Larry P. Lond Respondent AWARD CASE NO. 89-01695 SUMMARY OF TSSTIBS This case waa filed with the National Association of Securities, Dealers, Inc. ("NASD") on June 9, 1989. CXaiiiiant AllegfKJ monies due and owing pursuant to the terms of a ProaiBSory Note entered into between the parties that provided

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeffrey A. Gordon Claimant vs. Bear Stearns & Company Respondent AWARD CASE NO. 89-01592 SUMMARY OF ISSUES Claimant alleged Respondent improperly cancelled and re- billed his order to sell shares of Dart Group Corporation two days after settlement, creating an unsecured debit balance in his account. Claimant alleged Respondent acted maliciously and in